Broker-Dealers Articles

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Consumer Federation Seeking Advisor Horror Stories From Investors

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The Consumer Federation of America is seeking advisor horror stories from retail investors to fight industry objections to having the Department of Labor developing a fiduciary rule.

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LPL 2015 Forecast: Stocks Up 5% To 9%, Bonds Flat

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LPL Financial is forecasting that for 2015, stocks will be up for the seventh year in a row at a 5- to 9-percent clip, with bonds flat.

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Cetera Grants $6.7 Million To 61 Independent Advisors For Business Plans

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Winners were chosen from nearly 400 applicants and will receive funding to implement their business growth plans.

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Some B-Ds Reinstate Selling Agreements With RCAP

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RCS Capital Corp. said today that some broker-dealers have resumed sales of products distributed by RCAP’s wholesale distribution business.

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Wedbush To Pay $2.44 Million To Settle SEC Market Access Charges

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The brokerage firm will pay a $2.44 million penalty and admit to wrongdoing in a deal to settle civil charges over shoddy risk controls that let thousands of overseas traders gain access to U.S...

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Advisory Firm Shocked Finra Orders It To Pay $3.8M To ExxonMobil Retirees

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A Finra arbitration panel rules in favor of the retirees, who say they were told a "total return" model would increase their S&P 500 gains while reducing the risks of trading equities.

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Cetera Offers Specialized Consulting Resources To Advisors

by FA Staff

The Advanced Planning Group is a team of legal, tax and estate planning experts that provide support to advisors.

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Wells Fargo To Pay Brokers $7.4M To Settle Deferred Bonus Lawsuit

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The company has agreed to settle a claim that it unlawfully made brokers who left the firm forfeit bonuses that were deferred as part of their retirement plans.

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Morgan Stanley To Defer More Bonus Pay For Brokers In 2015

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Morgan Stanley, the world's largest brokerage firm, fired the first shot in Wall Street's pay formula wars by telling brokers more of their pay will be deferred in 2015 than in the past.

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Brokers Will Have To Live With CARDS, LPL Exec Says

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Broker-dealers probably won’t be able to kill Finra’s controversial CARDs proposal, so they should work to mold it to their liking, according to an industry compliance executive.

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